CRD: 175289
Stone Steps Financial, LLC
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- Custodian
- Altruist · Charles Schwab & Company · Truist Bank
- Clients
- Retail
- Platforms
- Available
- Established Date
- 04-03-2015
- Office Locations
- 4
Office Locations
About Stone Steps Financial, LLC
Stone Steps Financial is a retail RIA based in Encinitas, CA providing comprehensive financial life planning and investment management. The firm builds individualized roadmaps through its EVOKE-based process (typically four meetings over 2–3 months) with semiannual plan reviews. Portfolios emphasize asset allocation and active management using ETFs and mutual funds, with custody available at Altruist and Schwab.
Team overview
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Asset Classes
CRM
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Investment Themes
Investment Vehicles
Platform
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Technology
Owner & Executives
SCOTT ROBERT FRANK
Managing Member
- CRD
- #5408098
- Ownership
- 75% or more
KINGSTON MARLAND HOLLMAN
Chief Compliance Officer
- CRD
- #5563826
- Ownership
- Less than 5%
Showing 2 of 2 owners & executives
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MARY ELLEN BRENNAN
Senior Associate Advisor
- CRD
- #5716708
Guo Wei Liu
Associate Advisor
- CRD
- #7558840
Showing 2 of 5 contacts
Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $146,585,773 | $239,129 |
| Non-Discretionary | $0 | -- |
| Total | $146,585,773 | $239,129 |
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Separately Managed Accounts
Total SMA Asset: Available
| Asset class | Assets | Assets % |
|---|---|---|
| Public Funds | Available | Available |
| Equity - Exchange | Available | Available |
| Cash | Available | Available |
| Total | Available | Available |
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